wealth-management
3 free lessons tagged wealth-management across Business. Each one is a short sequence of focused steps with narration and a five-question quiz at the end — take them in any order, no signup required.
Supervision, AI Washing, and What the Client Is Paying For
Running AI inside a regulated advisory practice: keeping tools within the firm's capture and supervision system, the confidentiality problem, what you may and may not say about your own AI use after the SEC's first enforcement actions, and the parts of the job a client structurally cannot get elsewhere.
Meeting Prep, Notes, and Client-Ready Outputs
The four workflows that recover the most advisor time: preparing for a review, capturing and documenting the meeting, producing client-ready written output, and digesting research. What each needs as input, where the Marketing Rule engages, and the review that has to happen before anything reaches a client.
What an Advisor Actually Does, and Why Advice Is the Regulated Part
Financial advice divides into gathering, analysis, recommendation, communication and administration, and AI compresses them very unevenly. This lesson separates them, explains why the recommendation itself sits behind a fiduciary or suitability duty, and covers the recordkeeping regime that makes this profession unusual.